0001209191-16-095324.txt : 20160203 0001209191-16-095324.hdr.sgml : 20160203 20160203163737 ACCESSION NUMBER: 0001209191-16-095324 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160201 FILED AS OF DATE: 20160203 DATE AS OF CHANGE: 20160203 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NASDAQ, INC. CENTRAL INDEX KEY: 0001120193 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY & COMMODITY BROKERS, DEALERS, EXCHANGES & SERVICES [6200] IRS NUMBER: 521165937 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: ONE LIBERTY PLAZA CITY: NEW YORK STATE: NY ZIP: 10006 BUSINESS PHONE: 2124018700 MAIL ADDRESS: STREET 1: ONE LIBERTY PLAZA CITY: NEW YORK STATE: NY ZIP: 10006 FORMER COMPANY: FORMER CONFORMED NAME: NASDAQ OMX GROUP, INC. DATE OF NAME CHANGE: 20080227 FORMER COMPANY: FORMER CONFORMED NAME: NASDAQ STOCK MARKET INC DATE OF NAME CHANGE: 20010423 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Jochumsen Hans-Ole CENTRAL INDEX KEY: 0001428851 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-32651 FILM NUMBER: 161385336 MAIL ADDRESS: STREET 1: ONE LIBERTY PLAZA CITY: NEW YORK STATE: NY ZIP: 10006 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-02-01 0 0001120193 NASDAQ, INC. NDAQ 0001428851 Jochumsen Hans-Ole ONE LIBERTY PLAZA NEW YORK NY 10006 0 1 0 0 President Common Stock, par value $0.01 per share 2016-02-01 4 S 0 35000 61.44 D 9392 D Employee Stock Option (Right to Buy) 19.75 2020-03-04 Common Stock 22059 22059 D Employee Stock Option (Right to Buy) 25.28 2021-03-28 Common Stock 33995 33995 D Employee Stock Option (Right to Buy) 41.36 2018-03-24 Common Stock 15771 15771 D The price reported in this box is a weighted average price. These shares were sold in multiple transactions at prices ranging from $61.15 to $61.70, inclusive. The reporting person undertakes to provide to Nasdaq, any security holder of Nasdaq or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4. Represents (i) 8,232 vested shares underlying performance share units and (ii) 1,160 shares purchased pursuant to the Employee Stock Purchase Plan. Options exercisable. /s/ Edward S. Knight, by power of attorney 2016-02-03